Registered Wealth Investment Services Associate

Citi•O'fallon, MO

About The Position

Able to clearly articulate business value proposition, matching clients with the correct set of products and services. Directly responsible for providing timely responses to client service requests, received via telephone or email. Provides exceptional support and issue resolution- all client issues will be owned end to end by the associate and will be treated with a closed loop process. Handles all inquiries/requests related to banking and /or investment operations - including placing unsolicited securities trades (Series 7 & 63 required). Ensures customer claims and complaints are handled in accordance with FINRA and firm policy. Ensures that KYC/AML and other compliance norms are strictly adhered to. Builds a rapport with clients; utilizes Salesforce regularly for communication of issues/tasks/opportunities. Builds a rapport with back-office staff and seek out highest level of support from those teams. Provides timely feedback to senior management to identify client pain points and barriers to exceptional service; offers suggestions on process improvement. Responsible for responding to client requests for investment products, referring clients to Financial Advisors, if requested. Accountable for identifying prospective clients interested in becoming new clients. Responsible for executing specific client contact campaigns as defined by Sales Management/Segments. Responsible for proactively contacting clients to identify needs and deepen relationships. Complete all required trainings pertaining to the function in a timely manner. 2-5 years of experience in Client Service and/or Sales within financial services (banking, insurance, investments) preferred. Prior work experience in a related job that would provide a comprehensive understanding of activities, policies, procedures, and concepts of the work area. Understanding of multiple products across business lines combined with exceptional networking and relationship building skills. Excellent verbal and written communication skills. Ability to communicate at a professional level. Positive and can-do attitude. Excellent people skills and ability to work in a team environment. Capable of working independently within established procedures and make decisions without manager approval. Able to perform multiple functions with a high degree of accuracy. Strong desire to create a top-notch client experience with every client every day. Open to receiving feedback on a frequent basis, continuous feedback will be crucial to the success of the team. Ability to support a diverse array of products and services. Knowledge of Microsoft Office (Excel, Outlook, and Word) preferred. US Registered FINRA Series 7 & 63 Required. In addition, Series 66/65 preferred Bachelor's/University degree, Master's degree preferred

Requirements

US Registered FINRA Series 7 & 63 Required
Excellent verbal and written communication skills
Ability to communicate at a professional level
Positive and can-do attitude
Excellent people skills and ability to work in a team environment
Capable of working independently within established procedures and make decisions without manager approval
Able to perform multiple functions with a high degree of accuracy
Strong desire to create a top-notch client experience with every client every day
Open to receiving feedback on a frequent basis, continuous feedback will be crucial to the success of the team
Ability to support a diverse array of products and services

Nice To Haves

2-5 years of experience in Client Service and/or Sales within financial services (banking, insurance, investments) preferred
Prior work experience in a related job that would provide a comprehensive understanding of activities, policies, procedures, and concepts of the work area
Understanding of multiple products across business lines combined with exceptional networking and relationship building skills
Series 66/65 preferred
Knowledge of Microsoft Office (Excel, Outlook, and Word) preferred
Bachelor's/University degree, Master's degree preferred

Responsibilities

Articulate business value proposition
Match clients with the correct set of products and services
Provide timely responses to client service requests
Provide exceptional support and issue resolution
Handle all inquiries/requests related to banking and /or investment operations
Ensure customer claims and complaints are handled in accordance with FINRA and firm policy
Ensure that KYC/AML and other compliance norms are strictly adhered to
Build a rapport with clients
Utilize Salesforce regularly for communication of issues/tasks/opportunities
Build a rapport with back-office staff
Provide timely feedback to senior management
Respond to client requests for investment products
Refer clients to Financial Advisors, if requested
Identify prospective clients interested in becoming new clients
Execute specific client contact campaigns as defined by Sales Management/Segments
Proactively contact clients to identify needs and deepen relationships
Complete all required trainings pertaining to the function in a timely manner